Risk Based Capital Standards: Capital and Liquidity Applicability Thresholds

Forms and Documents

Document Name	Status
1557-0318 Tailoring 11-6-18.docx Supporting Statement A	2018-11-29

IC Document Collections

IC ID	Document Title	Status
234216	Advanced Approach - One-time Recordkeeping	New
234215	Advanced Approach - One-time Disclosure	New
234214	Standardized Approach - One-time Recordkeeping	New
234213	Standardized Approach - One-time Disclosures	New
234212	Minimum Regulatory Capital Ratios	New
234211	Advanced Approach - Ongoing Recordkeeping	New
234210	Advanced Approach - Ongoing Disclosures	New
234209	Standardized Approach - Ongoing Recordkeeping	New
234208	Standardized Approach - Ongoing Disclosures	New

ICR Details

OMB Control No: 1557-0344	ICR Reference No: 201811-1557-006
Status: Historical Inactive	Previous ICR Reference No:
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Risk Based Capital Standards: Capital and Liquidity Applicability Thresholds
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule	Conclusion Date: 06/18/2019
	Date Received in OIRA: 12/21/2018
Terms of Clearance: The OCC should consider whether it is appropriate to apply an identical hourly cost burden across all subparts of the proposed collection as well as relative to other active collections where the identical figure, $117, has been offered.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date		36 Months From Approved
Responses	0	0	0
Time Burden (Hours)	0	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: This Supporting Statement is filed in connection with a notice of proposed rulemaking titled “Proposed Changes to Applicability Thresholds for Regulatory Capital and Liquidity Requirements.” The proposal would establish a revised framework for determining applicability of requirements under the regulatory capital rule, the liquidity coverage ratio rule, and the proposed net stable funding ratio rule for large U.S. banking organizations based on their risk profile. The proposal would establish four categories of standards and apply tailored capital and liquidity requirements for banking organizations subject to each category. The proposal is consistent with a separate proposal issued by the Board that would apply enhanced prudential standards for large banking organizations based on those four categories of standards. The proposal would not amend the capital and liquidity requirements currently applicable to an intermediate holding company of a foreign banking organization. These changes will not result in changes to the PRA-related burden. Nevertheless, in order to be consistent across the agencies, the agencies would apply a conforming methodology for calculating the PRA-related burden estimates. The agencies would also update the number of respondents based on the current number of supervised entities even though this proposal only affects a limited number of entities. The agencies believe that any changes to the information collections associated with the proposed rule are the result of the conforming methodology and updates to the respondent count, and not the result of the proposed rule changes.

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Authorizing Statute(s): US Code: 12 USC 1 et seq. Name of Law: The National Bank Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
1557-AE56	Proposed rulemaking	83 FR 66024	12/21/2018

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 9

IC Title	Form No.	Form Name
Standardized Approach - One-time Recordkeeping
Advanced Approach - One-time Disclosure
Advanced Approach - Ongoing Recordkeeping
Standardized Approach - One-time Disclosures
Advanced Approach - One-time Recordkeeping
Standardized Approach - Ongoing Recordkeeping
Advanced Approach - Ongoing Disclosures
Standardized Approach - Ongoing Disclosures
Minimum Regulatory Capital Ratios

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Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: This ICR is submitted in connection with an NPR titled "Proposed Changes to Applicability Thresholds for Regulatory Capital and Liquidity Requirements" and is a duplicate of OMB Control No. 1557-0318, which is currently pending in connection with another rule." Both rules affect the OCC's capital rules. Because there is an ICR currently pending under OMB Control No. 1557-0318, this ICR could not be filed under it. Therefore, we are requesting a new control number for this rule. Once both of these rules have become final, we will consolidate the burden under OMB Control No. 1557-0318.

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 12/21/2018

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